Compliance executives recognize regulators' efforts, but desire more support
Ratings improved for regulators' support of innovation, but there's more work to be done
While some of the regulators have seen their ratings remain stable, others have had wild swings in theirs
Given the results of the 2018 Regulators’ Report Card, implementing a better approach may lead to a better outcome next year
Survey participants raise several concerns
Although the BCSC's ratings increased year-over-year, no other regulators in the survey experienced a similar fortune
The investment industry wants regulators to make a decision on embedded commissions once and for all
IE research journalist Anthony Burton spoke with 108 survey participants from across the investment industry
While some survey participants said regulators should be doing more about cybersecurity, others said the onus is on the industry